Regulations Governing Foreign Exchange Business of Securities Enterprises Article 9
The Bank may reject a securities enterprise’s application for foreign exchange business in the event of any of the following:1.Qualifications of the applicant do not comply with the requirements;2.The applicant has failed to assist declarants to fill out the Declaration Statement of Foreign Exchange Receipts and Disbursements or Transactions (hereinafter referred to as “Declaration Statement”) as required.3.A high error rate in the certificates, reports and forms prepared by the applicant;4.The applicant has violated the provisions of these Regulations or relevant rules in the past year and the violation is of a serious nature; the applicant was ordered to rectify the situation by the Bank, but has failed to do so within the period specified by the Bank; or5.Other facts that are sufficient to indicate that the applicant may hinder sound operations of the business, or that the applicant is unable to meet financial policy requirements.When a securities enterprise reporting a foreign exchange business to the Bank for record with false documents or reporting a foreign exchange business which is not required to report to the Bank for record according to these Regulations, the Bank may, depending on the severity of the situation, impose the following sanctions:1.Demand the securities enterprise to take remedial action;2.Suspend the application of the securities enterprise for new foreign exchange business or for adding branches to conduct foreign exchange business for a specified period of time;3.Suspend specific foreign exchange businesses of the securities enterprise for a specified period of time; or4.Withdraw the securities enterprise’s privilege of commencing a foreign exchange business that requires reporting for record according to these Regulations by reporting the business to the Bank for record.
中文原文 證券業辦理外匯業務管理辦法第9條
證券業申請許可辦理外匯業務時，經審查有下列情形之一者，本行得駁回其申請：
一、申請資格不符規定。
二、未依規定輔導申報義務人填報外匯收支或交易申報書（以下簡稱申報書）。
三、掣發相關單據及填報報表錯誤率偏高。
四、最近一年內有違反本辦法或本行其他有關規定，且情節重大；或經本行限期改正，屆期仍未改正。
五、其他事實足認有礙業務健全經營或未能符合金融政策要求之虞。
證券業函報備查辦理外匯業務時，若檢附不實之文件，或該業務依規定非屬得函報備查者，本行得按情節輕重，為下列處分：
一、命其改善。
二、停止其於一定期間內申請新種外匯業務或新增分支機構辦理外匯業務。
三、停止其於一定期間內辦理特定外匯業務。
四、令其不得以函報備查方式開辦依本辦法規定得函報備查之外匯業務。
一、申請資格不符規定。
二、未依規定輔導申報義務人填報外匯收支或交易申報書（以下簡稱申報書）。
三、掣發相關單據及填報報表錯誤率偏高。
四、最近一年內有違反本辦法或本行其他有關規定，且情節重大；或經本行限期改正，屆期仍未改正。
五、其他事實足認有礙業務健全經營或未能符合金融政策要求之虞。
證券業函報備查辦理外匯業務時，若檢附不實之文件，或該業務依規定非屬得函報備查者，本行得按情節輕重，為下列處分：
一、命其改善。
二、停止其於一定期間內申請新種外匯業務或新增分支機構辦理外匯業務。
三、停止其於一定期間內辦理特定外匯業務。
四、令其不得以函報備查方式開辦依本辦法規定得函報備查之外匯業務。